Securities Law Essentials For Growing Companies

We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies.  The presentation included an overview of what constitutes a public offering, what is a security, classical private placements, mistakes made by issuers and lawyers, liability associated with private offerings, Regulation D safe harbors, use of finders and unregistered broker dealers, and changes required by the JOBS Act and the Dodd-Frank Act.  You can find the written materials here and the PowerPoint here.

Check dodd-frank.com frequently for updated information on the JOBS Act, the Dodd-Frank Act and other important securities law matters.

Topics:  Broker-Dealer, Dodd-Frank, JOBS Act, Private Placements, Safe Harbors, Securities

Published In: Administrative Agency Updates, Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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